Brinkman, Theory III
Class Notes
Sonata Form
We can view the Classical sonata form as expanding the tonal structure and thematic design of the
continuous rounded binary forms of the classical period. Refer to the attached diagram, which
compares a typical rounded continuous binary form with a typical sonata movement. As you recall,
the rounded continuous binary is divided into two large parts, usually demarcated by double bars.
The A section (a) corresponds to the exposition of the sonata. The B section is divided into two
parts: the digression (b) corresponds to the development, and the thematic/harmonic return (a') corresponds to the recapitulation. A detailed discussion of the sections in sonata form follows.
Introduction. A slow introduction, when present, acts as an extended upbeat to the Allegro proper.
This is accomplished by a tonal motion from tonic to an arrival on the dominant, creating a largescale half-cadence.
I.
Exposition. In addition to “exposing” the basic thematic materials of the movement, the Exposition sets up a polarity between tonic and dominant (or relative major). The resulting tonal
conflict must be resolved before the movement ends. In the Classical period, the Exposition is
almost always repeated. There are four important parts of the Exposition:
A. First Tonal Area (FTA). This section, also known as the first theme group, states one or
more themes in the tonic key.
B. Transition (tr.). This section initiates tonal motion to a contrasting key, usually V or III.
We will refer to two types of transitions. A dependent transition begins with thematic material from the First Tonal Area, while an independent transition begins with new thematic
material. The harmonic goal of the transition is usually V (half cadence) of the new key.
Thus in a major key the goal of the transition is usually V/V, and in a minor key it is usually
V/III. This half cadence sets up the expectation of a structural downbeat on I of the new key
at the beginning of the second tonal area. Occasionally a composer will use an authentic
cadence instead of a half cadence in the new key as the goal of the transition. This is sometimes called a “harmonically incomplete” transition.
C. Second Tonal Area (STA). This section, also known as the second theme group, states one
or more themes in the new key. The thematic material usually contrasts with that of the
FTA; sometimes, however, themes from the FTA will appear transposed to the new key at
this point. A sonata in which the main theme of the Second Tonal Area is a transposition
of the primary theme of the First Tonal Area is called a “monothematic” sonata. Haydn is
fond of this device. (See the first movement of Symphony 104, for example).
D. Closing Section (cl.). The closing group usually maintains the key of the STA, and provides strong harmonic closure in the second key. It is often subdivided into several parts,
which may be thematic or purely cadential. Closing themes are often characterized by short
melodic ideas and repeated V–I (cadential) tonal motion. A codetta may follow harmonic
and melodic closure. This extension of the final cadence often features cadential figuration
and/or a “tonic” pedal.
II. Development. The Development is characterized by sequencing and modulation, which serve
to intensify the tonal conflict created in the Exposition. Thematic material from earlier sections
is often presented in new ways, although new thematic material may also be introduced. The
development is often sectional, with division based on the thematic material presented and/or
tonal area explored. Contrary to appearance, the tonal scheme of the Development is usually
highly organized: although the specific key scheme will vary from piece to piece, the ultimate
goal is the dominant of the original key. This dominant, which is usually prolonged, is referred
to as the Retransition, and it prepares the return of the tonic harmony. Harmonic interruption
occurs at this point.
III. Recapitulation. The Recapitulation restates the material of the Exposition, but with important
differences. Material that was stated in the dominant or relative major during the Exposition is
now transposed back to the original tonic key, thus resolving the tonal conflict of the movement.
A. First Tonal Area (FTA). This section restates the thematic material from the corresponding part of the Exposition, either literally or with minor alterations.
B. Transition (tr.). Unlike the earlier transition, this section does not initiate a modulation.
While the material of this section corresponds to the earlier transition in design, its function
is ultimately to return to the tonic. Thus the harmonic goal is usually a half cadence (V) in
the tonic key. It is often interesting to study this section carefully, since the composer must
do more recomposing of this section than others, which are sometimes merely transposed
to the tonic key.
C. Second Tonal Area (STA). This section restates the thematic material from the corresponding part of the Exposition, but now transposed to the original tonic. Composers sometimes do considerable reworking of material here as well.
D. Closing Section (cl.). This section confirms the original key, and harmonic and melodic
closure are achieved at this point.
Coda. The Coda corresponds with the Codetta in function; it occurs, if at all, after harmonic and
melodic closure. Procedures in the Coda vary greatly from piece to piece: earlier material may be
“developed” in new ways, or new material may be introduced. Also, sometimes, the coda is used
to resolve tonal issues suggested earlier in the movement. It is sometimes useful to view the Coda
as a “second Development,” especially in Beethoven and later composers.
Labeling Themes in a Sonata. In labelling themes in a sonata, it is useful to make a distinction
between themes in various groups. In any case you will want labels for themes so that you can show
derivation of material in the development. I prefer to label themes in the first tonal area 1a, 1b, 1c,
etc., those in the second tonal area 2a, 2b, etc.; and those in the closing group 3a, 3b, etc. New ideas
in transitional sections can be labelled t1, t2, if necessary. See the form chart on thelast page of this
handout as an example. This movement, the first of Mozart’s Sonata in B-Flat Major, K.333, can
be found in Laitz, The Complete Musician, draft edition, pp.831ff . It is a perfect model of Classical
sonata form, and is an excellent introduction to the genre.
III
m: (i——III) i
(harmonic structure in two parts)
V
modulates establishes
to concontrasting
trasting key
key
M: (I (i)–V) I
establishes
main key
III
V
confirms
contrasting
key
3 (closing
theme(s)
and/or
cadential
figuration)
1 (main
theme(s))
2 (secondary
theme(s))
III
V
(III)
(V)
(Codetta)
Closing
Section
First Tonal Transition Second Tonal
Area
Area
(thematic design in three sections)
Exposition
tonal function:
(Intro)
i
m:
a (main theme)
(thematic design in three sections)
(harmonic structure in two parts)
I
M:
A
Sonata Form
III (X)
V (X)
b (digression)
sequences
III (X)
V (X)
expands tonal argument
by modulating freely but
logically
fragmentation, sequences
Development
B
i
I
reestablishes may tonimain key
cize other
key areas,
but does
not modulate
provides
large-scale
tonal resolution by
returning in
main key
2 (secondary
theme(s))
First Tonal Transition Second Tonal
Area
Area
1 (main
theme(s))
(interruption)
V(7)
V(7)
Retransition
i
I
a' (main theme)
Recapitulation
(interruption)
V(7)
V(7)
Rounded Continuous Binary Form
reconfirms
main key
3 (closing
theme(s)
and/or
cadential
figuration)
V–i
V–I
Closing (Codetta)
Section
(i)
(I)
(Coda)
V–i
V–I
Mozart Piano Sonata In B-Flat Major, K. 333 (1778)
First Movement (Sonata Form)
Part
Measure
Function/Derivation
Tonality
1
11
23
39
50
59
1a (parallel period)
transition (dependent)
2a
2b
3a
codetta
I
I → V/V
V
V
V
V
Part 1
Part 2
64
71
1a
transition + new
Part 3
Part 4
81
87
2a (m. 35-36)
retransition
V [F]
v [ Fm] → V7/ii [ Cm] →
V7/I [Bb] → Gr.65/vi [Gm]
V/vi [Gm]
V/I
1a
transition (extended)
2a
2b (extended)
3a
codetta
I
I → V/I
I
I
I
I
Exposition:
First group
Second group
Closing Group
[ Bb ]
[F ]
Development
Recapitulation
First group
Second group
Closing Group
94 [= 1]
104 [= 11]
119 [= 23]
135 [= 39]
152 [= 50]
161 [= 59]
[ Bb ]
[ Bb ]
[ Bb ]
[ Bb ]